Brian G. Swim

LINCOLN CAPITAL

Lincoln, NE 68516

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CRD#: 5045181

Professional summary

Brian George Swim is a registered financial advisor currently at LINCOLN CAPITAL, LLC located in Lincoln, Nebraska.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Brian has worked at 6 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Family First Life Insurance: IMO, not investment related, 80 Norwich-New London Tpke, Uncasville CT 06382, insurance agent, July1, 2022 start date, 4 hours per month, monitoring policies in place. Lincoln Capital Life, LLC: Insurance Agency 6003 Old Cheney Road Suite 350 Lincoln NE 68516 insurance agent, start date: Nov 1, 2022, approx. 32 hours per month, consulting on life insurance needs

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian George Swim's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 21, 2022 - Present

LINCOLN CAPITAL, LLC

Office #1: 6003 Old Cheney Road, Suite 350, Lincoln, NE 68516

RIA

CRD#: 168307

Lincoln, NE

Past

April 3, 2019 - May 21, 2019

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

April 28, 2016 - June 1, 2016

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

LINCOLN, NE

Past

April 27, 2016 - June 1, 2016

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

November 7, 2013 - January 15, 2016

STERNECK CAPITAL MANAGEMENT LLC

RIA

CRD#: 111463

KANSAS CITY, MO

Past

August 21, 2009 - May 9, 2013

ORION PORTFOLIO SOLUTIONS, LLC

RIA

CRD#: 107975

KANSAS CITY, MO

Past

August 3, 2006 - May 9, 2013

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

OMAHA, NE

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LINCOLN CAPITAL, LLC

CRD#: 168307 / SEC#: 801-78526

RIA

Registered Investment Advisory firm - (9/18/2013 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Nebraska
(12/21/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/20/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/1/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 3/12/2019

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 6/1/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/2/2006

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LINCOLN CAPITAL, LLC

CRD#: 168307 / SEC#: 801-78526

RIA

Registered Investment Advisory firm - (9/18/2013 Approved)

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Contact information

Main Address

6003 Old Cheney Rd Suite 350, Lincoln, NE 68516

Mailing Address

Phone number

(402) 483-1400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A FIRM BROCHURE (3/18/2025)

FORM ADV PART 2A APPENDIX 1 - WRAP BROCHURE (3/18/2025)

Regulatory assets under management

Total Number of Accounts	1,176
AUM (Assets Under Management)	$ 742,867,538

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brian G. Swim

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian George Swim's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE LEADERS GROUP, INC.

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

STERNECK CAPITAL MANAGEMENT LLC

ORION PORTFOLIO SOLUTIONS, LLC

NORTHERN LIGHTS DISTRIBUTORS, LLC

Primary Firm SEC Registration

LINCOLN CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/20/2022

Series 63

Date: 4/1/2019

Series 6TO

Date: 3/12/2019

SIE

Date: 6/1/2016

Series 6

Date: 8/2/2006

Current Firm

LINCOLN CAPITAL, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LINCOLN CAPITAL, LLC

TRUST BUT VERIFY

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